When you retire, you need income you can count on, year in and year out for a very long time. From getting a handle on your sources of retirement income to strategies to make that income last throughout retirement, this resource will help you manage your retirement income wisely.
TRACE Monthly Volume Report for 2015
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files.
The FINRA Board of Governors will consider the following rulemaking item at its February 2011 meeting. FINRA is publishing this information to provide additional transparency in the rulemaking process. After the February 3 meeting, FINRA will notify firms via email about the Board's action on this item and anticipated next steps, if any.
Third-Party Service Providers
The Board will
FINRA ADDS® OTC Reporting Facility Trade Journals - Version 1.3
(6/10/14, PDF 296 KB)
FINRA ADDS® OTC Reporting Facility Trade Journals - Version 1.2
(6/10/14, PDF 296 KB)
Q: If I am an existing subscriber or vendor of the SPDS (Structured Products Dissemination Service) will I automatically receive the new ABS data set on June 1, 2015?
A: Existing subscribers or vendors of SPDS will automatically receive disseminated transactions in publicly traded ABS. No changes to the vendor agreement are required. Please note: Rule 144A ABS transactions will be disseminated
Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
Many firms will from time to time seek to expand their business by, for example, adding a new line of business or substantially increasing the scope and size of their existing business that may or may not require a Continuing Membership Application (CMA) for FINRA's approval.
When contemplating a change to its business activities or operations, a firm should think about whether the proposed
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
